RICHARD BERNSTEIN ADVISORS LLC of NEW YORK, NY is an SEC-registered investment adviser (CRD 153577). Regulatory assets under management: $3.8B. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM, Fixed, Performance.
Clients served: High net worth, Pooled vehicles, Corporations, Investment cos, Other.
Showing 25 of 33 people.
| Name | Role | Location |
|---|---|---|
| Karlene J Lacy | GLOBAL HEAD OF TAX | Denver, CO |
| Richard Nmn Bernstein | CHIEF EXECUTIVE OFFICER, CHIEF INVESTMENT OFFICER, BOARD MEMBER AND MEMBER | — |
| Michael Harris Meyer | CHIEF COMPLIANCE OFFICER | — |
| John Raymond Reagan | CHIEF TECHNOLOGY OFFICER | — |
| John Joseph Mccombe | PRESIDENT, DIRECTOR OF DISTRIBUTION AND BOARD MEMBER | — |
| Barbara Tarbel | CHIEF FINANCIAL OFFICER AND BOARD MEMBER | — |
| Philip Stephen Goldfarb | DIRECTOR OF TRADING | — |
| Lisa Kirschner | DIRECTOR OF RESEARCH AND CHAIRPERSON OF THE INVESTMENT COMMITTEE | — |
| Frank Matthew Griswold | DIRECTOR OF INVESTMENTS AND RISK MANAGEMENT | — |
| Michael Contopoulos | DEPUTY CHIEF INVESTMENT OFFICER; DIRECTOR OF FIXED INCOME AND DEPUTY CHIEF INVESTMENT OFFICER | — |
| Michelle Rose Rosenberg | GENERAL COUNSEL & SECRETARY | — |
| Michael Alan Schweitzer | HEAD OF NORTH AMERICA CLIENT GROUP | — |
| Berg Ashton Crawford | CHIEF ACCOUNTING OFFICER | — |
| Dan James Suzuki | DEPUTY CHIEF INVESTMENT OFFICER | — |
| MARRA THOMAS MICHAEL | CHIEF FINANCIAL OFFICER | — |
| MEYER DANIEL HARRIS | CHIEF COMPLIANCE OFFICER | — |
| BERNSTEIN RICHARD NMN | CHIEF EXECUTIVE OFFICER, CHIEF INVESTMENT OFFICER AND MANAGING MEMBER; CHIEF EXECUTIVE OFFICER, CHIEF INVESTMENT OFFICER, BOARD MEMBER AND MEMBER | — |
| BLOOM DAVID NMN | CHIEF OPERATING OFFICER; CHIEF OPERATING OFFICER AND CO-PRESIDENT | — |
| REAGAN JOHN RAYMOND | CHIEF TECHNOLOGY OFFICER | — |
| SIMON CHARLES ROY | DIRECTOR OF TRADING | — |
| MCCOMBE JOHN JOSEPH | DIRECTOR OF SALES & MARKETING AND CO-PRESIDENT; PRESIDENT AND DIRECTOR OF DISTRIBUTION; PRESIDENT AND DIRECTOR OF SALES & MARKETING (+1 more) | — |
| BLOOM DAVID | CHIEF OPERATING OFFICER | — |
| BERNSTEIN LARRY RICHARD | CHIEF EXECUTIVE OFFICER AND CHIEF INVESTMENT OFFICER | — |
| TOMASULO BARBARA | CHIEF FINANCIAL OFFICER | — |
| GOLDFARB PHILIP STEPHEN | DIRECTOR OF TRADING | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2024-02-16 | regulatory | THE SETTLED ORDER PROVIDES THAT RBA VIOLATED A PROVISION OF RULE 206(4)-1 OF THE INVESTMENT ADVISERS ACT IN CONNECTION WITH THE DISSEMINATION OF CERTAIN ADVERTISEMENTS CONTAINING THIRD-PARTY RANKINGS. RBA DISSEMINATED AN ADVERTISEMENT ON ITS PUBLIC WEBSITE CONTAINING TWO THIRD-PARTY RATINGS THAT DID… | Final | $295K |
| 2023-04-06 | regulatory | JANUS HENDERSON GROUP PLC MADE A LATE DISCLOSURE FILING OF ITS AGGREGATE HOLDINGS (HELD ON BEHALF OF ITS CLIENTS) IN RENEWI PLC (AN ISSUER THAT IS LISTED IN THE NETHERLANDS) AFTER ITS SHAREHOLDING CROSSED THE 3% DISCLOSURE THRESHOLD. | Final | $1.9M |